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Investment Advisor
June 2008
Philip Palaveev
The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive. mark for My Articles similar articles
Investment Advisor
July 2009
Jonathan Henschen
Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way. mark for My Articles similar articles
Investment Advisor
September 2008
Eric Schwartz
B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future. mark for My Articles similar articles
Investment Advisor
June 2006
Kathleen M. McBride
Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways. mark for My Articles similar articles
Investment Advisor
June 2008
Jonathan Henschen
Transfer Time For advisors pondering a move from a wirehouse to an independent broker/dealer with visions of large, forgivable transition loans dancing in their heads, it's time for a reality check. mark for My Articles similar articles
Investment Advisor
January 2006
Kathleen M. McBride
Balancing Act The broker/dealer model is changing, spurred by business and regulatory pressures, and reps may stop talking to their clients. mark for My Articles similar articles
Investment Advisor
September 2007
Kathleen M. McBride
Around the Table The leaders of the 2007 Broker/Dealers of the Year speak frankly about their challenges and opportunities. mark for My Articles similar articles
Investment Advisor
April 2007
James J. Green
Watch LPL Grow The largest independent broker/dealer acquires three Pacific Life Insurance Co. broker/dealers. mark for My Articles similar articles
Investment Advisor
August 2010
Melanie Waddell
Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas. mark for My Articles similar articles
Investment Advisor
March 2009
Kara P. Stapleton
Succession & Valuation A Financial Services Institute OneVoice Broker/Dealer session dealt with internal succession, discussing the steps that advisors and independent broker/dealers need to take when developing a succession plan. mark for My Articles similar articles
Investment Advisor
June 2009
James J. Green
Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive mark for My Articles similar articles
Investment Advisor
June 2007
Lauren Barack
Streamlining Broker/dealers are aiming for a one-click model for their technology platforms. mark for My Articles similar articles
Investment Advisor
September 2008
Philip Palaveev
B/D or RIA? How to Decide for Yourself To help make the decision between the registered independent advisor and broker/dealer approach, first ask yourself where you belong. mark for My Articles similar articles
Investment Advisor
March 2006
Melanie Waddell
The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable. mark for My Articles similar articles
Investment Advisor
May 2008
Melanie Waddell
Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers. mark for My Articles similar articles
Investment Advisor
January 2008
Kathleen M. McBride
Clearly Profitable It's an evolution revolution at the big clearing firms. mark for My Articles similar articles
Investment Advisor
September 2008
Bob Clark
Who's Your Daddy? Philip Palaveev's new gig as president of Fusion Advisor Network foreshadows the future of independent advice. mark for My Articles similar articles
Investment Advisor
July 2010
James J. Green
LPL Financial's IPO: The Competitive Equation How the broker/dealer universe will change with LPL's plans mark for My Articles similar articles
Investment Advisor
January 2007
Kathleen M. McBride
Symbiotic Relationships When broker/dealers select a clearing firm to partner with, it pays to be choosy. Clearing firms innovate to help correspondents thrive. mark for My Articles similar articles
Investment Advisor
January 2006
Jonathan Henschen
How to: Producer Group A producer group can extend the reach -- and profitability -- of a financial advisor's practice. However, not all producer groups are created equal. mark for My Articles similar articles
Investment Advisor
August 2008
James J. Green
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady mark for My Articles similar articles
Registered Rep.
March 31, 2015
Megan Leonhardt
The Increasingly Happy Broker Generally speaking, the smaller the firm, the happier the broker, according to our fifth Independent Broker/Dealer Report Card survey. mark for My Articles similar articles
Investment Advisor
September 2009
James J. Green
How the Representatives Voted The year 2009 marked the 19th time that Investment Advisor asked its readers who are representatives of independent broker/dealers to rank their own B/Ds on 14 discrete categories, along with an overall rating. mark for My Articles similar articles
Registered Rep.
March 31, 2015
Diana Britton
The Rare Prop Product In REP.'s fifth annual Independent Broker/Dealer Report Card, only 19 percent of 2,058 advisors surveyed said they sell in-house or proprietary products. mark for My Articles similar articles
Investment Advisor
September 2005
Fantastic 5 This year's winning broker/dealers of the year reveal some of the machinery behind the success: Division I -- Geneos Wealth Management... Division II -- Brecek & Young Advisors... etc. mark for My Articles similar articles
Registered Rep.
February 2, 2006
Kristen French
Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest. mark for My Articles similar articles
Investment Advisor
September 2007
Kathleen M. McBride
A Trend Confirmed? Advisory fees overtake commission revenue at Commonwealth. So what does this mean for the independent broker/dealer industry? Will other firms soon reach the point at which fee revenue dominates? mark for My Articles similar articles
Registered Rep.
January 1, 2005
I'm A Broker, You're A Broker At most publicly traded national broker/dealers, about 35 percent of employees are called financial advisors. mark for My Articles similar articles
Investment Advisor
June 2009
Russ Diachok
Survival of the Fittest An assessment of who will succeed -- and fail -- among the independent B/D ranks. mark for My Articles similar articles
Investment Advisor
March 2009
James J. Green
Editor's Note: For Your Consideration RIAs and broker/dealers are more alike than they are different, and it's always better to merge from strength than weakness. mark for My Articles similar articles
Investment Advisor
September 2008
Melanie Waddell
Whither the Independent B/D? Securities America's acquisition of Brecek & Young is yet another sign of dwindling independent broker/dealers. mark for My Articles similar articles
Registered Rep.
June 1, 2012
Diana Britton
Breaking Out: A New Era in Insurance Insurance firms constantly go through cycles of acquisition and sale when it comes to their broker/dealer subsidiaries. But the current sell cycle is different, and it may shake up how the business works. mark for My Articles similar articles
Registered Rep.
March 5, 2012
Diana Britton
Your Broker/Dealer May Be Headed for Divorce As independent broker/dealers continue to consolidate and the search for profitability accelerates, some firms may be considering going self-clearing, analysts and industry executives say. mark for My Articles similar articles
Registered Rep.
July 29, 2013
Diana Britton
No Man Is an Island Independent broker/dealers are dressing up their offerings to attract and retain advisors tempted to start their own RIAs. mark for My Articles similar articles
Investment Advisor
June 2007
Kara P. Stapleton
News & Products NASD has fined two Fidelity broker/dealers for preparing and distributing misleading sales literature... The broker/dealers of ING plan to lower fees that their advisors pay on two core advisory programs... etc. mark for My Articles similar articles
Investment Advisor
September 2007
James J. Green
Leading the Way The leaders of the 2007 Broker/Dealers of the Year reflect their reps: optimistic, opinionated professionals whose business savvy is growing in a challenging environment mark for My Articles similar articles
Registered Rep.
February 7, 2012
Kristen French
More Advisors Wearing Investment Management Hat Financial advisors at broker/dealers are increasingly taking the reins on their clients' fee-based accounts, according to a report out from Cerulli Associates today. mark for My Articles similar articles
Investment Advisor
November 2007
Kathleen M. McBride
Migration Time Is repapering accounts for 202(a) the last straw for wirehouse reps? mark for My Articles similar articles
Investment Advisor
September 2008
James J. Green
You're the Tops In a comprehensive face-to-face discussion, the leaders of the Broker/Dealers of the Year explain their firms' unique charisma and how they plan to remain at the summit of their professions. mark for My Articles similar articles
Investment Advisor
December 2009
Broker/Dealer News New developments at Raymond James, LPL Financial, and Broadridge Financial Solutions. mark for My Articles similar articles
Registered Rep.
March 31, 2015
Diana Britton
How Advisors Are Paid The ascendancy of fee-based compensation in the independent broker/dealer space continues. mark for My Articles similar articles
Registered Rep.
February 4, 2013
Diana Britton
Faking It: Our Third-Annual IBD Report Card Survey The economics of the IBD business haven't changed; independent b/ds are up against it. They're faced with rising regulatory costs and a greater demand for technology investment to stay competitive. mark for My Articles similar articles
Investment Advisor
June 2008
McBride & Roberts
The Presidents Speak Recruiting and building margins are top challenges for independent broker/dealers today. mark for My Articles similar articles
Registered Rep.
January 1, 2007
David A. Geracioti
What Advisors Look Like Now Here are selected highlights from a reader survey selected from wirehouses, independent broker/dealers, RIAs, financial planners, bank brokers and insurance reps that offers a pulse from this demographic on business trends. mark for My Articles similar articles
Investment Advisor
December 2007
Angela Herbers
Bottom Up Broker/dealer recruiting is largely a zero sum game. Here is why it more advantageous for B/Ds to help their existing advisors. mark for My Articles similar articles
Registered Rep.
June 7, 2011
Diana Britton
Advisor Group in Talks to Acquire Smaller B/D Independent broker/dealer network Advisor Group is talking to a number of small and mid-sized broker/dealers that the company would consider purchasing. mark for My Articles similar articles
Financial Planning
June 1, 2011
Donald Jay Korn
FP 50: Revenue Rising The money stream is flowing again: After two years of stagnant or, worse, shrinking revenue, the 50 largest independent broker-dealers report their annual revenues rebounded last year - significantly in many cases. mark for My Articles similar articles
Investment Advisor
August 2006
Mark Tibergien
Formulas for Success: Get Help If you're buying or selling a financial advisory practice, call the pros. Experienced dealmakers know that the vast majority of the value in a transaction resides in the terms, not in the price. mark for My Articles similar articles
Investment Advisor
September 2006
Lauren Barack
Going Mobile To compete, broker/dealers are improving their technology platforms, with an eye on mobility. mark for My Articles similar articles
Investment Advisor
September 2010
Green & Sullivan
Optimists: The 20th Annual Broker/Dealers of the Year Any broker/dealer that isn't getting into continuity planning better hurry up or they'll be out of business. mark for My Articles similar articles